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: SECLaw.com

FINRA Seeks Further Erosion of Broker Rights - BrokerCheck Forever

By Mark H. Astarita, Esq.

FINRA has proposed rule SR-FINRA-2009-050 under which it would permanently disclose a condensed record for any broker who has been fined, suspended or barred by securities regulators on its Internet based Broker-Check system. The proposed rule was published in the Federal Register on August 17, 2009 and the SEC solicited comments for submission on or before September 8, 2009.Broker-check has been a significant intrusion into the private and personal lives of employees of the brokerage community for years. Is there any other industry or profession where such detailed information regarding allegations (not proof; allegations) of wrongful conduct are available to the public?Broker-check was designed to allow the investing public to review information regarding their broker and potential broker...continue to full post

Full post as published by SECLaw.com on October 07, 2009 (boomark / email).

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